4//SEC Filing
KATY INDUSTRIES INC 4
Accession 0001140361-04-003353
CIK 0000054681operating
Filed
May 27, 8:00 PM ET
Accepted
May 28, 5:13 PM ET
Size
14.0 KB
Accession
0001140361-04-003353
Insider Transaction Report
Form 4
CARROLL WALLACE E JR
Director10% Owner
Transactions
- Award
Common Stock
2004-05-27$5.91/sh+500$2,955→ 182,239 total - Award
Options to purchase common stock
2004-05-27$5.91/sh+2,000$11,820→ 27,000 totalExercise: $5.91From: 2004-05-27Exp: 2014-05-27→ Common Stock (2,000 underlying)
Holdings
- 8,729(indirect: By Spouse)
Common Stock
- 4,212(indirect: See Note 3)
Common Stock
- 804,635(indirect: See Notes)
Common Stock
- 2,071,036(indirect: See Notes)
Common Stock
Footnotes (6)
- [F1]The Reporting Person or members of his immediate family are beneficiaries of the Wallace E. and Lelia H. Carroll Trust U/A Dated 5/1/58 F/B/O Wallace E. Carroll, Jr. and his descendants (the "WEC Jr. '58 Trust"), the Lelia H. Carroll Trust U/A Dated 7/12/62 F/B/O Wallace E. Carroll, Jr. (the "WEC Jr. '62 Trust) and the Family Grandchildren Trust U/A dated 9/29/90 F/B/O the descendents of Wallace E. Carroll, Jr. (the ?Family Trust?) (collectively, the "WEC Trusts"). The WEC Jr. '58 Trust, the WEC Jr. '62 Trust and the Family Trust directly beneficially own 603,000, 194,693 and 6,942 shares of the Issuer's outstanding common stock, respectively, for an aggregate of 804,635 shares (the "Trust Shares"). The Reporting Person may be deemed to have an indirect pecuniary interest in the Trust Shares to the extent that he and/or the members of his immediate family living in the same household are beneficiaries of the WEC Trusts.
- [F2]CRL, Inc. ("CRL") directly beneficially owns 2,071,036 shares of the Issuer's outstanding common stock (the "CRL Shares") after giving effect to the transaction reported herein. As stockholders of CRL, the WEC Jr. '58 Trust and the Reporting Person may be deemed to indirectly beneficially own such Shares. The Reporting Person may be deemed to have an indirect pecuniary interest in the shares indirectly beneficially owned by the WEC Jr. '58 Trust through CRL to the extent that he and/or the members of his immediate family living in the same household are beneficiaries of that trust and as a stockholder of CRL.
- [F3]Common stock is held by the Katy Industries, Inc. Directors Deferred Compensation Plan in a Rabbi Trust arrangement. 2,106 shares are held for the benefit of the Reporting Person, and 2,106 shares are held for the benefit of his spouse.
- [F4]As a stockholder of CRL, the Reporting Person may be deemed to have an indirect pecuniary interest in the CRL Shares (see Note 2).
- [F5]Members of the Reporting Person's immediate family are beneficiaries of the WEC Trusts (see Note 1). The Reporting Person may be deemed to have an indirect pecuniary interest in the Trust Shares to the extent that members of her immediate family living in the same household are beneficiaries of the WEC Trusts.
- [F6]The Reporting Person may be deemed to have an indirect pecuniary interest in the CRL Shares to the extent that members of his immediate family living in the same household own CRL shares and are beneficiaries of the WEC Jr. '58 Trust (see Note 2).
Documents
Issuer
KATY INDUSTRIES INC
CIK 0000054681
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0000054681
Filing Metadata
- Form type
- 4
- Filed
- May 27, 8:00 PM ET
- Accepted
- May 28, 5:13 PM ET
- Size
- 14.0 KB